Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

Bangkok, June 16, 2011 ? The SEC revokes its approval for status of an approved auditor in the capital market in case of Somchai Kurujitkosol and will not consider his application for approval for

perform duties or provide services with honesty and good faith. Specifically, (1) he requested and used client’s mutual fund trading account to conduct investment transactions in mutual funds under the

Company Profile - INFORMATION AND COMMUNICATION NETWORKS PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 14 January 2025 20:14 Company Profile INFORMATION AND

the same day. Saowarat’s misconduct according to (1) is deemed failure to perform duties or provide services with loyalty by misappropriating client assets, and according to (2) is deemed acting

Bangkok, 3 August 2023 –  SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating

(mobile number and email address) with her own information to register for the bank’s internet banking services under the client’s name, and withdrew money from the client’s banking account for her

Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC

characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities